In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.

We are looking for bright, innovative individuals to be part of a growing team, individuals that have initiative and who will relish taking on responsibility. This role would suit someone proactive, who thrives in a fast-paced environment, and enjoys multitasking.

 

At Kroll, your work will help deliver clarity to our clients’ most complex governance, risk, and transparency challenges. Apply now to join One team, One Kroll. 

 

RESPONSIBILITIES:

Responsible for supporting UK-based compliance consulting team managing a portfolio of client relationshipsDrafting and updating compliance manuals and other compliance documentation for clientsSetting up clients’ compliance infrastructureUndertaking periodic compliance monitoring reviews and compliance testingWriting compliance monitoring reportsManaging regulatory reporting schedules and compliance calendarsDrafting and/or reviewing FCA Reports and Returns (financial and non-financial) and SEC filingsProviding ad hoc regulatory advice Performing financial promotions and marketing material reviewsManaging compliance processes for clients, using proprietary or third-party compliance systems as necessaryDrafting regulatory notifications and applications (e.g. FCA approved person forms, Appointed Representative applications, Authorisation applications, SEC Form ADV etc.)  

 

REQUIREMENTS:

Proven experience in a compliance role within the FCA/SEC, an FCA/SEC regulated firm/group or a consultancy practice.Knowledge and understanding of the FCA/SEC rules and regulations and global compliance standardsDetailed knowledge of the investment management and broking sectorsBroad understanding of the alternative investment industryAbility to work on own initiative and as part of a teamClient facing, solutions focused skillsClear, logical thought processes, ability to make decisions and articulate these clearlyStrong oral and written communication skillsTime management and ability to work under pressureLegal or audit background would be usefulContacts within the UK and overseas investment industry would be usefulExperience of both UK and US regulation would be useful

About Kroll

In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity—not just answers—in all areas of business.We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you’ll contribute to a supportive and collaborative work environment that empowers you to excel.

Kroll is committed to equal opportunity and diversity, and recruits people based on merit.

In order to be considered for a position, you must formally apply via careers.kroll.com

 

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